Form 10-Q Amendment No. 1
Table of Contents

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

 

FORM 10-Q/A

Amendment No. 1

 

 

 

x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

FOR THE QUARTERLY PERIOD ENDED DECEMBER 31, 2009

 

¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

FOR THE TRANSITION PERIOD FROM             TO             .

Commission file number: 0-26680

 

 

NICHOLAS FINANCIAL, INC.

(Exact Name of Registrant as Specified in its Charter)

 

 

 

British Columbia, Canada   8736-3354

(State or Other Jurisdiction of

Incorporation or Organization)

  

(I.R.S. Employer

Identification No.)

 

2454 McMullen Booth Road, Building C

Clearwater, Florida

   33759
(Address of Principal Executive Offices)   (Zip Code)

(727) 726-0763

(Registrant’s telephone number, including area code)

 

 

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 and 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter periods that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.    Yes  x    No  ¨

Indicate by check mark whether the Registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the Registrant was required to submit and post such files).    Yes  ¨    No  ¨

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer   ¨    Accelerated filer   ¨
Non-accelerated filer   ¨    Smaller reporting company   x

Indicate by checkmark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act)    Yes  ¨    No  x

As of January 31, 2010, the registrant had 11,717,220 shares of common stock outstanding.

 

 

 

Table of Contents

NICHOLAS FINANCIAL, INC.

FORM 10-Q/A

Amendment No. 1

TABLE OF CONTENTS

 

          Page
Part II.    Other Information   

Item 6.

   

Exhibits

   2

Explanatory Note

This Amendment No. 1 to Quarterly Report on Form 10-Q/A (the “Amendment”) of Nicholas Financial, Inc. (the “Company”) is being filed solely to refile Exhibit 10.1 to include the exhibits and schedules to the Company’s Second Amended and Restated Loan and Security Agreement, dated January 12, 2010.

Except as identified in the immediately preceding paragraph, no other items included in the original Quarterly Report on Form 10-Q for the three months ended December 31, 2009 have been amended. Additionally, this Amendment does not purport to provide an update for or a discussion of any developments subsequent to the filing of the original Form 10-Q.

 

1

Table of Contents

PART II. OTHER INFORMATION

 

ITEM 6. EXHIBITS

See exhibit index following the signature page.

 

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Amendment No. 1 to Quarterly Report on Form 10-Q to be signed on its behalf by the undersigned thereunto duly authorized.

NICHOLAS FINANCIAL, INC.

(Registrant)

 

Date: March 23, 2010     /s/ Peter L. Vosotas
    Peter L. Vosotas
    Chairman of the Board, President,
    Chief Executive Officer and Director
Date: March 23, 2010     /s/ Ralph T. Finkenbrink
    Ralph T. Finkenbrink
    Senior Vice President,
    Chief Financial Officer and Director

 

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EXHIBIT INDEX

 

Exhibit No.

  

Description

10.1   Second Amended and Restated Loan and Security Agreement, dated January 12, 2010 (including the exhibits and schedules thereto)
31.1   Certification of the President and Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
31.2   Certification of the Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

 

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